Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Flaten is a financial professional with over 17 years of experience in the industry. Thomas is currently registered with Lake Street Capital Markets, LLC in Minnesota and holds the Series 7, Series 86, Series 87, and Series 63 licenses. Thomas has also held previous registrations with LOKoya Advisors LLC and RBC Dain Rauscher Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
MN
10/09/2018 - Present
Lake Street Capital Markets, LLC (MINNEAPOLIS MN)
MN
10/29/2004 - 06/14/2005
LOKOYA ADVISORS LLC (MINNEAPOLIS MN)
NY
03/09/2001 - 12/31/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
BC
Issued 09/24/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/30/2018
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/22/2018
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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